Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jimi Epps Case No. 00-03493 Name of Respondent Ameritrade, Inc. Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Jimi Epps ("Epps"), hereinafter referred to as "Claimant": Mark F. Raymond, Esq. and Walter J. Mathews, Esq., Tew Cardenas Rebak Kellogg Lehman DeMaria Tague Raymond & Levine, L.L.P., Miami, Florida and Alex James Moore, E

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01784 Richard D. Powers, claimant vs. First Montauk Securities Corp., and Raymond Levitzky, respondents. ATTORNEYS: Claimant Richard D. Powers appeared Pro Se., Ramsey, New York. For Respondents First Montauk Securities Corp. ("First Montauk"), and Raymond Levitsky ("Levitzky"), Lloyd Claremen, Esq., Attorney At Law, New York, New York. DATE FILED: 4/16/19

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Corna Securities, Inc. and 99-01775 Columbus, Ohio Name of Respondent Jerry L. Plaster REPRESENTATION OF PARTIES Corna Securities, Inc. ("Claimant") was represented by Phillip D. Lehmkuhl, Esq., Mount Vernon, Ohio. Jerry L. Plaster ("Respondent") did not appear at the hearing. CASE INFORMATION The Statement of Claim was filed on or about April 1

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Harold Slote, Claimant v. Drake Capital Securities, Inc., Gruntal & Co., L.L.C., Laidlaw Equities, Inc., Benjamin Lupu, Robert Delaplain, John A. Tommasini, Paul Bagley, Joseph Di Lillo, John Mazza, Sally Case, and Sandra Ison, Respondents Case Number: 99-01774 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Drake Ca

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Timothy and Susan McGough and 99-01769 Scottsdale, Arizona Name of Respondents New England Securities Corporation Peter Russell Kolesar REPRESENTATION OF PARTIES Claimants Timothy and Susan McGough were represented by John J, Nicgorski, Esq. and Carolyn R. Matthews, Esq., Mohr, Hackett, Pederson, Blaktey & Randolph, P.C., 2800 North Central Avenue,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Young O. Kim, Claimant v. Waterhouse Securities, Inc., Allison B. Clago, and Calabasas Asset Holding Company, Inc. (fka Kennedy Cabot & Company), Respondents Case Number: 99-01765 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Young O, Kim: Young O. Kim ProSe Hermosa Beach, California For Respondent Calabasas Asset Holding Company, Inc.: Georg

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tsai-Hsien Lee and Chao-Tsu Lee, (Claimants) vs. Dominick & Dominick, Inc. and Peter Wu Fu Sung (Respondents). Case Number: 99-01763 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, Tsai-Hsien Lee and Chao-Tsu Lee, ("Claimants"): C. Kyle Pugh, Esq. And Dyke Bennett, Esq.: Attorneys at Law, Dallas, Texas. Respondents, Dominick & Dominick, Inc. and Peter Wu F

NASD Dispute Resolution Arbitration No. 99-01757 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 99-01757 Derek J. Likowski Name of the Respondents Hearing Site: Cleveland, Ohio Olde Discount Corporation Greg Naypaver David lonno REPRESENTATION OF PARTIES Claimant, Derek J. Likowski, hereinafter referred to as "Claimant": Carter R. Dodge, Esq., Cleveland,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Abdul Ardekani, Claimant v. Sovereign Securities, Respondent and Related Counterclaim Case Number: 99-01756 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondent/Counterclaimant: Will S. Montgomery, Esq. Jenkens & Gilchrist Dallas, Texas CASE INFORMA

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joely White Names of Respondents David W. Reimer Argent Securities, Inc. Louis Phillips Reames, Sr. Kenneth Edward Brill William Louis Mello Timothy Wayne McAfee Case No. 99^01752 REPRESENTATION OF PARTIES For Joely White hereinafter referred to as "Claimant": Robert A. Uhl, Esq. of Aidikoff & Beverly Hills, CA. For Re